Financial Services
Financial Services Industry Specialties Series, 7, 24, 27 and 63
- FINOP Services
- Register as your Financial and Operations Principal
- File Focus Reports (monthly and/or quarterly) and Net Capital Computation
- Prepare Annual Schedule I filing
- File Annual FINRA Assessment Report
- Liaison and interface with external auditor
- SIPC Assessment and Report
- Chief Compliance Officer
- Register as your Chief Compliance Officer
- Perform AML check for new accounts
- Review and supervise email
- Review and approve advertising and correspondence
- Review employee accounts and daily trading
- Review instances of insider trading activity
- Compliance
- Annual AML Audit
- Written Supervisory Procedures
- Perform Compliance Audit (as required for Rule 3012, 3013 and Annual CEO Certification)
- Membership Application Process
- Review State, FINRA and SEC inquires
- Conduct branch Audit and Annual Meetings ·
- BCP (Business Continuity Plans) Create, Implement and Update
- CE Continuing Education: Create and Administer Firm Element
- CE Regulatory Element Administration
- FOCUS Reporting · Net Capital Rule 15c3-1 · Written Supervisory Procedures
- FINRA/SEC Audit Preparation
- Review relevant books and records
- Examine key business practices
- Suggest improvements to procedures and practices · Implement accepted recommendations
- Organize physical books and records including related files
- On-site accommodation for FINRA exam